Nathaniel L. Ralston

SHEARMAN, RALSTON

Greenwich, CT 06830

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CRD#: 6076209

Professional summary

Nathaniel Louis Ralston is a registered financial advisor currently at SHEARMAN, RALSTON INC. located in Greenwich, Connecticut.

Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nathaniel has worked at 1 firm and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathaniel Louis Ralston's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nathaniel Louis Ralston's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 22, 2018 - Present

SHEARMAN, RALSTON INC.

Office #1: 333 Greenwich Avenue, Greenwich, CT 06830Office #2: 333 Greenwich Avenue, Greenwich, CT 06830Office #3: 333 Greenwich Avenue, Greenwich, CT 06830

RIA

CRD#: 7320

Greenwich, CT

Current

October 2, 2012 - Present

SHEARMAN, RALSTON INC.

Office #1: 333 Greenwich Avenue, Greenwich, CT 06830Office #2: 333 Greenwich Avenue, Greenwich, CT 06830

RIA

CRD#: 7320

Greenwich, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(3/17/2014)

IAR

Connecticut
(6/22/2018)

Georgia
(1/23/2023)

IAR

Georgia
(7/7/2023)

Louisiana
(1/17/2024)

IAR

Louisiana
(7/29/2025)

New Jersey
(1/11/2023)

New York
(11/29/2012)

IAR

New York
(4/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/19/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/28/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/4/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHEARMAN, RALSTON INC.

CRD#: 7320 / SEC#: , 8-21190

Connecticut

Registered Investment Advisory firm - SEC (6/22/2018 Approved)

Georgia

Registered Investment Advisory firm - SEC (7/7/2023 Approved)

Louisiana

Registered Investment Advisory firm - SEC (6/23/2025 Approved)

New York

Registered Investment Advisory firm - SEC (4/3/2025 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

333 Greenwich Avenue, Greenwich, CT 06830

Mailing Address

333 Greenwich Avenue, Greenwich, CT 06830

Phone number

(203) 489-3902

Established

New York since 10/15/1976

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RALSTON, DOUGLAS PAUL	PRESIDENT, CEO, FINOP OF BD	370414
JAFFESS, BARBARA LYNN	NON-CONTROL OWNER	861641
RALSTON, NATHANIEL LOUIS	VICE PRESIDENT, COO CFO CCO OF BD, CCO OF RIA	6076209
SULLIVAN, DANIEL A	VICE PRESIDENT OF BD	707476

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 97,678,492

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nathaniel L. Ralston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathaniel Louis Ralston's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nathaniel Louis Ralston's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHEARMAN, RALSTON INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2018

Series 63

Date: 11/28/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/1/2012

Series 24

Date: 11/4/2025

FINRA

Current Firm

SHEARMAN, RALSTON INC.

Contact information

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

SHEARMAN, RALSTON INC.

TRUST BUT VERIFY

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